Vigilant’s experienced professionals have extensive knowledge in Investment Adviser, Broker-Dealer, Mutual Fund, Private Equity, and Cybersecurity compliance, risk, and technology. Vigilant provides insights on best practices, trends, and industry news. Our blog consolidates all SEC, Vigilant, and industry-specific compliance alerts, white papers, articles, etc., to help you stay informed and find the information that you will need and find useful.
Whitepapers
FINRA Cites MSRB Rule G-13 in Action Against Broker Dealer
August 12, 2021Whitepapers | FINRA One of Vigilant’s Directors, Deane Armstrong, created a Whitepaper discussing issues raised by the recent FINRA[...]
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Whitepapers
Lucia Ends Almost Decade Long Battle with The SEC
July 15, 2020The SEC announced on June 16, 2020 that they have agreed to a Settlement with Raymond J. Lucia, Sr. and[...]
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Whitepapers
How Firms Can Work to Protect Senior Investors
November 26, 2019Baby boomers are growing older, and that is transforming our national demographics. By 2035, it is estimated that 78 million senior[...]
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Whitepapers
How to Prepare for an SEC Examination
August 12, 2019No matter how smoothly your firm operates or how diligent your compliance team is, the prospect of an SEC examination[...]
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Whitepapers
The Impact of GDPR on the Asset and Wealth-Management Industry
August 12, 2019Regarded as the largest data regulation act in modern European history, the General Data Protection Regulation (GDPR) has taken the[...]
Read ArticleWhy Is Cybersecurity Important for Investment Advisers?
August 12, 2019Cybersecurity remains vital for investment advisers. As new cyber threats are identified, cybersecurity will remain paramount for these advisers both[...]
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Whitepapers
Guide to SEC Investment Adviser Registration
August 12, 2019Becoming a registered investment advisor (RIA) is not merely an industry best-practice. In most cases, it’s a regulatory obligation that[...]
Read ArticleStock Market Analyst Barred for Illegally Cashing In On His Research Reports
September 26, 2017The Securities and Exchange Commission today charged a stock market analyst with insider trading prior to the publication of research[...]
Read ArticleSEC Announces Enforcement Initiatives to Combat Cyber-Based Threats and Protect Retail Investors
September 25, 2017The Securities and Exchange Commission today announced two new initiatives that will build on its Enforcement Division’s ongoing efforts to[...]
Read ArticlePharmaceutical Company Paying Penalty for Misleading Investors About Sales Metric
September 22, 2017The Securities and Exchange Commission today filed fraud charges against a Massachusetts-based biopharmaceutical company that exaggerated how many new patients[...]
Read ArticleSEC Announces Agenda for October 12 Investor Advisory Committee Meeting
September 22, 2017The Securities and Exchange Commission today announced the agenda for the October 12 meeting of its Investor Advisory Committee. The[...]
Read ArticleSEC Suspends Trading in Company Purporting Involvement in Hurricane Harvey Relief Efforts
September 22, 2017The Securities and Exchange Commission today suspended trading in a company amid questions surrounding its statements about sending response teams[...]
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